REGULATORY COMPLIANCE
HOW WE DO IT
Reviewing and enhancing frameworks related to, for example, conduct, market abuse, senior managers and certification regime, compliance department operating models and the wider lines of defence structures
Providing bespoke regulatory and compliance policies and training, tailored for our clients’ business model and education needs
As a Management Consultancy specialising in regulatory risk, one of our key areas of focus is regulatory advice and compliance assurance. Keeping abreast of regulatory requirements and ensuring appropriate compliance monitoring is in place is challenging and firms can rapidly find themselves struggling to keep up and remain compliant.
We work closely with our clients to provide tailored assistance in interpreting and applying new or existing regulation to your specific business model and activities. By getting to know our clients and their businesses, and keeping abreast of the actions taken against firms, we pride ourselves in understanding and applying what the regulator expects of your firm, which includes:
Devising compliance risk assessment models and establish compliance monitoring programmes
Helping our clients with advice and assistance to implement remedial actions arising from a regulator visit, skilled persons report or gap analysis, or to prepare for new business activities
Our consultants are all industry practitioners, not ‘career consultants’, with deep subject matter expertise developed through ‘front-line’ experience, allowing us to offer a no-nonsense, balanced and commercially appealing advisory and consulting service to our clients.